Joseph M. Spidalieri
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Michael Spidalieri, who also goes by Joe Michael Spidalieri, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2001. Joseph had worked at 5 firms and has passed the Series 66, Series 57TO, Series 79TO, Series 99TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2016 - October 31, 2023
INVERNESS SECURITIES, LLC
January 23, 2012 - October 27, 2017
SAFEGUARD SECURITIES, INC.
March 25, 2003 - April 10, 2013
AMERICA NORTHCOAST SECURITIES, INC.
August 22, 2001 - March 5, 2002
IDS LIFE INSURANCE COMPANY
August 22, 2001 - March 5, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/29/2004
Limited Representative-Equity Trader ExamCurrent Firm
INVERNESS SECURITIES, LLC
CRD#: 129914 / SEC#: , 8-66278
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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